Nov 25, 2024 · The Los Angeles Regional Office is responsible for enforcing violations of the federal securities laws and examining regulated entities such as investment advisers, investment companies, and broker-dealers.

Securities Topics. Crypto Assets; Cybersecurity; Saving and Investing for Military Personnel; Market Structure; Saving and Investing for Teachers

Founded to help our country respond to the Great Depression, we’re the agency that protects investors from misconduct, promotes fairness & efficiency in the securities markets, and facilitates capital formation for those looking to hire, innovate, and grow.

The Securities and Exchange Commission (SEC) oversees securities exchanges, securities brokers and dealers, investment advisors, and mutual funds in an effort to promote fair dealing, the disclosure of important market information, and to prevent fraud.

The mission of the U.S. Securities and Exchange Commission (SEC) is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

444 S Flower St Ste 900. Los Angeles, CA 90071. +1 (323) 965-3998. http://sec.gov. The U.S. Securities and Exchange Commission, also known as SEC, is responsible for the protection of investors, as well as facilitates capital formation.

The United States Government Securities & Exchange Commission in Los Angeles, CA is a regulatory agency tasked with overseeing the securities industry and enforcing securities laws to protect investors. They work to maintain fair, orderly, …

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